New Webcast: Member Information Session about New SRO Public Comment Materials

Type: Education Notice
Distribute internally to:
Corporate Finance
Internal Audit
Legal and Compliance
Regulatory Accounting
Senior Management
Trading Desk


Dianne Weatherby
Manager, Corporate Events and Member Education Services

On June 10, 2022, IIROC hosted an information session about the key aspects of the public comment materials released by the Canadian Securities Administrators (CSA). The deadline to submit comments to the CSA on the materials is June 27, 2022.

This webcast covered:

  • New SRO Interim Rules (Investment Dealer rules, Mutual Fund Dealer Interim Rules, UMIR)
  • Recognition Order by the CSA
  • Application for Recognition by the SRO;
  • Memorandum of Understanding
  • New SRO by-law
  • New SRO Investor Advisory Panel Terms of Reference;

Irene Winel, IIROC’s Senior Vice-President, Member Regulation and Strategy, delivered opening remarks. Panelists included:

  • Richard Corner, Vice-President and Chief Policy Advisor, Member Regulation
  • Kathy Engle, Vice-President, Strategy
  • Karen Green, Senior Corporate Counsel, General Counsel’s Office
  • France Kingsbury, Regional Director, Regulation
  • Suzanne Lasrado, Director, Member Regulation & Strategy
  • Marina Ripoche, Vice-President, Registration

For more information, refer to the public comment documents and frequently asked questions on the Interim Rules and the new SRO Investor Advisory Panel.

This webcast will be available on Thursday, June 23, 2022, at 7 a.m. Eastern Time.

Participants will receive 1.0 Compliance continuing education credits.

Register for the webcast.

Please share this notice with your colleagues and encourage them to subscribe to receive IIROC Education Notices so they will be aware of the release of CE accredited webcasts and other events.

We also encourage you to visit our webcast catalogue for other CE opportunities.